Presentation on theme: "Introduction to Recordkeeping"— Presentation transcript:
1 Introduction to Recordkeeping A basic introduction for employees of Queensland public authoritiesThis training presentation focuses on providing an introduction to general employees of Queensland public authorities who have limited understanding of their recordkeeping responsibilities.It assumes the agency has implemented processes and systems for managing records and that there is an officer responsible for managing this. It does not cover the activities associated with designing and managing these processes and systems, but focuses on communicating to general staff about basic recordkeeping responsibilities.Trainers may wish to take this presentation and amend or add additional slides to incorporate local practices and processes.1 of 13
2 Training OutcomesUnderstanding the importance of recordkeeping, and your key recordkeeping responsibilitiesAbility to distinguish between what is and what is not a public recordUnderstanding when a record should be created, kept and managed and when it can be lawfully deleted or destroyedAbility to identify the key recordkeeping legislation and standards for Queensland public authorities
3 Presentation Overview What is a public record?The legislative and regulatory contextWhy undertake recordkeeping?What are my recordkeeping responsibilities?Key things to rememberRecordkeeping Quiz
5 What is a public record?A public record is any form of recorded information, both received and created, that provides evidence of the decisions and actions of a public authority while undertaking its business activities.
6 In what form are public records? Public records may be in any form, including:Paper, microfilm, electronicDocuments, files, maps, plans, drawings, photographsData from business systems, word-processed documents, spreadsheets, , web pagesComputer files on a floppy or hard diskAudio, video or optical media such as cassettes, video tapes, CDs and DVDs.
7 What types of information are public records? Examples of what is a public recordAny data within a database or information system that documents business processes or actionsAgendas, papers and minutesDraft documents that contain significant annotations or were submitted for approval or comment by othersRecords generated from a project or policy initiativeA work related that documents an action or decisionCorrespondenceInformation related to the business activity of the agency that has been published on an agency’s website
8 What types of information are not public records? Examples of what is not a public recordNon-circulated drafts of reports or correspondence (e.g. drafts containing minor grammatical amendments)Advertising brochures from an external providerInformational material that includes lists of suppliers, catalogues, directories and addressesUnsolicited s or letters advertising products or servicesAn about an afternoon tea for a work colleague who is leaving
10 Key components of the broader Information Management legislative framework Right to InformationInformation PrivacyPublic Records Act 2002Right to Information Act 2009Information Privacy Act 2009An Act to ensure Queensland public records are:createdmanagedkeptpreserved, andaccessibleAn Act to provide access to government information:proactively through publication schemes and administrative releasethrough legislative processes unless, on balance, it is contrary to the public interest to give accessAn Act to provide:statutory obligations for agencies to protect information privacya right to access personal information unless, on balance, it is contrary to the public interest to give accessa right to amend personal information
11 What is the Recordkeeping Policy Framework? See QSA’s website for further information -LegislationPublic Records Act 2002RecordkeepingInformationStandardsIS40:RecordkeepingIS31: Retention & Disposal of Public RecordsIS34: MetadataIS18: Information SecurityPoliciesManaging s that are public recordsManaging records of online resources and servicesQueensland Record-keeping Metadata StandardDigitisation Disposal PolicyMicrofilm Disposal PolicyAs at July 2009
12 What does the Public Records Act 2002 require? Public authorities must:Create and maintain ‘full and accurate’ public recordsDispose of public records in accordance with the disposal requirements authorised by the State ArchivistProvide authorised access to public records.
13 Information Standard 40: Recordkeeping (IS40) A Standard to assist public authorities to meet their recordkeeping obligations in accordance with the Public Records Act 2002Contains seven principles for compliant and accountable recordkeeping
14 Attributes of ‘full and accurate’ records createdauthenticcapturedinviolateadequateaccessiblecompleteuseablemeaningfulretainedaccuratepreserved
15 Information Standard 31: Retention & Disposal of Public Records (IS31) A standard to ensure public records are:Identified and retained for the appropriate length of timeAccessibleUnable to be altered, andProtected where confidentiality or privacy is required.
17 Why create, manage and keep records? To provide evidence of actions and decisions of government businessTo ensure accountability and transparency within governmentTo promote the effective and efficient management of government business and service delivery.
18 How does good recordkeeping help me? provides evidence of your business activityhelps you to do your job more efficientlyhelps you to make more informed business decisionsenables you to meet legislative obligationsenables access to corporate informationprotects the interests of the Government and of your public authority
19 What are my recordkeeping responsibilities? 1 of 13
20 Do I have recordkeeping responsibilities? Every Queensland public authority employee has recordkeeping responsibilities to make and keep public records of their activitiesThis includes contract staff and consultants working for Queensland public authorities
21 What are my recordkeeping responsibilities? Queensland public authority employees must undertake and maintain good recordkeeping practices.For example, you must:create records of your business activities and decisionscreate records that are adequate for their purposecreate records that are accurate so as to reflect what was communicated, decided or donemanage public records by placing them into the corporate recordkeeping system or business systemmaintain records in line with your agency’s recordkeeping and information management policies.
22 What are my recordkeeping responsibilities? You must not:Destroy, delete or alter records without authorityRemove records without permissionLose records that are in your careProvide inappropriate access to restricted records
23 When should I make a record? You should make a record if you need to show:What happenedWhat advice or instruction was givenWhat decision was madeWhat approval was givenWhen a transaction took placeWho was involvedThe order of events and/or decisions.For example, create records of:meetings where business decisions are made including an agenda, meeting papers and minutesinternal or external correspondence you send or receive that involve the provision of advice, instructions, decisions, approvals or recommendations.work related verbal communications that involve the provision of advice, instructions, decisions, approvals or recommendations. This includes phone calls, voice mail messages and conversations with your supervisor/manager.
24 What sort of information do I need to record? Information that provides evidence of the business activity, for example:Date of the discussion or business activityDetails of your name and other involved stakeholdersKey discussion pointsDetails of instructions or advice providedApprovals, decisions and recommendations made.
25 Where should I keep records? Records should be captured into recordkeeping systemsRecordkeeping systems are not:Your private storeDiskssystemsPersonal or shared drivesRecordkeeping systems:Make records easily accessibleEnsure records are appropriately managedEnsure records are disposed of in accordance with an authorised Retention and Disposal Schedule.However, information within these types of systems may be public records
26 How long do records need to be kept? Minimum retention periods for records are authorised by the State Archivist through:General Retention & Disposal Schedule for Administrative RecordsAgency or sector specific Retention & Disposal Schedules.
27 Can I delete or dispose of records? Public records captured into recordkeeping systems enable disposal in accordance with a Retention & Disposal Schedule approved by the State ArchivistCopies of public records may be deleted or disposed of, once the original has been captured into the corporate recordkeeping system**Note there are specific requirements regarding the disposal of original paper recordsafter digitisation – see your Records Manager for further information.
29 If yes, you must create a record. Ask yourself…Was this activity the result of:conducting business?making a business decision?undertaking a business action?providing advice?sending business related correspondence?receiving business related correspondence from external sources?If yes, you must create a record.
30 Don’t forget…Disposal of public records without authorisation from the State Archivist is unlawful.Make sure public records are placed into your agency’s recordkeeping system so that they can be managed and disposed of lawfully
31 Want to know more? Talk to your Records Manager (insert details) Visit your agency’s intranet site (insert details)VisitContact Queensland State Archives on (07) or
33 Recordkeeping QuizWhat benefits do you gain from performing recordkeeping?I am able to make more informed business decisionsI am able to demonstrate evidence of my business activities, the authority given and advice receivedI am able to find things more easilyAll of the aboveCorrect answer d
34 Recordkeeping Quiz Which of these is NOT a public record? An from your supervisor approving the commencement of a projectA brochure sent to you by a stationery supplierA note of a conversation where it was agreed to procure a serviceA policy position on child protection published on an agency’s websiteCorrect answer bA, C and D are all evidence of decisions made in the course of business.
35 Recordkeeping QuizThe Public Records Act 2002 requires public authorities to:Dispose of public records when records are no longer needed for business purposesScan all public records to have a complete digital collectionCreate and maintain full and accurate public recordsMake all public records available onlineCorrect answer CIncorrect. While records cannot be disposed of without the permission of the State Archivist, the act does not REQUIRE disposal.Incorrect.D. Incorrect.
36 Recordkeeping QuizWhich of these are characteristics of full and accurate records?AdequateConciseLengthyMeaningfulCorrectIncorrectDepending on what is adequate for the importance of the business activity and meaningful for others, a record may be concise OR lengthy.
37 Recordkeeping QuizRecords that document more important or higher risk transactions or processes need to be more detailed than records which document low risk activities.TrueFalseA is correct.This relates to the characteristic of ‘adequate’ records.
38 Recordkeeping QuizI can delete records I have created when I no longer need them.TrueFalseB is Correct.Permission is required from the State Archivist through a retention and disposal schedule
39 Recordkeeping Quiz Records need to be kept: Forever For a time period decided by senior managementFor different lengths of time, as documented in a Retention and Disposal schedule authorised by the State ArchivistC is correct.The different lengths of time may include ‘forever’ – or ‘retain permanently’ in the language of a retention and disposal schedule. Schedules are also signed off by senior management before submission to the State Archivist, so their approval is also important. However, under the Public Records Act disposal must be authorised by the State Archivist.
40 Recordkeeping Quiz A recordkeeping system is: An eDRMS (electronic document and records management system)An systemA shared network driveThe technology, people, principles, methods, processes and information systems which capture, manage, dispose of and provide access to records through timeAll of the aboveCorrect answers a. and d.Correctb. Incorrectc. Incorrectd. Correcte. Incorrect
41 Recordkeeping QuizI’ve engaged an external contractor to develop a report for my agency. She is responsible for recordkeeping associated with the report.TrueFalseB is correct.External/private contractors are not subject to the provisions of the Public Records Act 2002 and are not required to keep records.However, the contractor is performing a business activity for the public authority and it is the public authority’s responsibility to make and keep records of that business activity.Records also need to be made and kept of the process of engaging the contractor.
42 Recordkeeping QuizI must create adequate and accurate records of my business activity and capture these into a recordkeeping system.TrueFalseA is correct.This is the primary recordkeeping responsibility of all government employees.